Regulatory Wrestling – The Compliant Culture Smackdown: Blow by Blow
Pull up your ringside seat and re-live the rumble with our blow-by-blow breakdown of Regulatory Wrestling – The Compliant Culture Smackdown.
AI/ TechnologyElectronic messaging (Connectors)Records & Information ManagementRegulatory Compliance
Blog
SEC will reward cooperation where firms “mess up” with unauthorized communication
SEC Chair, Gary Gensler has suggested that financial institutions “did not act as if they got the message” around unauthorized communications. Is the regulator changing its approach?